Chapter 4

4.06-4.10

Employment

Effective Date: 09/01/2010

4.6 Use of Federal Funds

No federal appropriated funds will be paid by or on behalf of Michigan Technological
University, to any person for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or employee of Congress,
or an employee of a Member of Congress in connection with the making of any Federal
grant, the entering into of any cooperative agreement, or the extension, continuation,
renewal, amendment, or modification of any Federal grant or cooperative agreement.
If any funds other than Federal appropriated funds have been paid or will be paid
to any person for influencing or attempting to influence an officer or employee of
any agency, a Member of Congress, an officer or employee of Congress, or any employee
of a Member of Congress, the Registration and disclosure forms required by the Federal
Lobbying Disclosure Act and any other applicable law, shall be completed and submitted.

4.7 Conflict of Interest Policy

Preamble

Conflicts can be divided into two basic categories. The first covers what many people
traditionally associate with the term conflict of interest--opportunities for inappropriate
personal gain during the pursuit of official duties. These gains may be financial,
but other forms of benefit (power, political advantage, etc.) might also be involved.
Another form of conflict has been labeled conflict of commitment, and refers to the
choices individuals make about their professional priorities, especially the allocation
of their time to the different institutions and organizations they serve as professionals.
Conflicts of commitment may emerge when outside professional activities take priority
over other professional responsibilities of members of the Michigan Technological
University community to the University.

With respect to paid members of the Michigan Technological University community, the
term "conflict of interest" as used herein is intended to include "conflicts of commitment."
With respect to volunteers such as members of the Board of Trustees, the Tech Fund
and Alumni Boards, only those conflicts of a pecuniary nature are encompassed by the
term "conflict of interest."

Statement of General Principles

Upon becoming a member of the Michigan Technological University community, which includes
members of the Board of Trustees and other volunteer boards, every individual makes
a commitment to the University. Those who accept full-time University appointments
or employment are expected to accord the University their primary professional loyalty.
Every paid member of the community is expected to arrange their personal interests
and activities so as not to conflict with their commitment to the University.

This does not mean that members of the Michigan Technological University community
should avoid involvement in outside activities both public and private. To the contrary,
such involvement often serves the University as a whole and the greater public interest.
A state-funded, public university such as Michigan Tech is expected to be broadly
engaged in meeting the needs of society for its improvement and enrichment, including
the application of new knowledge and improved technologies. Therefore, Michigan Tech
strongly encourages outside professional activity by faculty, staff, and administrators,
for such efforts usually complement the other responsibilities of members of the Michigan
Tech community. Nothing in this policy should be interpreted as discouraging such
efforts.

Nonetheless, the efforts of members of the Michigan Technological University community
to balance their commitments of time to the University and to outside professional
interests must result in their primary professional commitment of time being made
to the University. Similarly, avoidance of conflict of interest requires that individuals
not realize gain, financial or otherwise, from the inappropriate use of University
property, funds, equipment, or prestige. Also, individuals should not realize gain
from outside professional interests that would improperly influence the conduct of
their University duties.

Disclosure Required

Conflicts of interest are inherent in the requirements and expectations placed on
members of academic communities such as Michigan Technological University.

Because conflicts are unavoidable in many instances, this conflict of interest policy
is designed to assist members of the Michigan Technological University community to
recognize and deal with those real and perceived conflicts that arise. The most basic
and important procedure for achieving both a balance of commitment and preventing
or enabling the University to manage conflicts of interest with financial implications
is full and open disclosure of significant interests and potential conflicts between
an individual's public and official obligations and responsibilities on the one hand,
and outside professional goals and interests on the other.

Recognizing and disclosing the existence of conflicts of interest and commitment must
be, primarily, the responsibility of individual members of the Michigan Tech community.
Individuals have to be guided by a sense of professional responsibility, which must
include the recognition that they have a public trust as employees of a public university
and must be sensitive to potential conflicts. A standard that should be applied in
thinking about conflicts of interest is how matters will appear to an outside third
party. In this respect, actions by individuals should protect the integrity of Michigan
Tech. To that end, periodic and transactional disclosure of significant financial
interests (as defined by applicable state or federal regulations) by individual members
of the Michigan Technological University community allows the objective determination
of whether a financial conflict of interest exists in any given situation.

Members of the Michigan Technological University community engaged in research and
scholarly activities have an additional need to maintain objectivity and to insure
that inappropriate bias is not introduced into their scholarship. Agencies providing
support for research and scholarly activities may have conflict of interest disclosure
and training requirements, and it is the intent of the University to be in compliance
with those external requirements.

Michigan Technological University has a responsibility to help individuals resolve,
or at least minimize, conflicts of interest. Administrators have a special responsibility
of creating both an environment and the conditions that encourage full disclosure
and the mitigation of conflicts.

Mitigation of Conflicts

No individual having a direct or indirect financial interest in the outcome of any
decision to be made on behalf of the University, or having a close relative (as defined
by applicable state or federal regulations) with a direct or indirect financial interest
in the outcome of any decision to be made on behalf of the University will participate
in making that decision, except to the extent the individual's advice or opinion is
requested by others charged with the responsibility for making such a decision.

Efforts to resolve and ameliorate conflict of interest shall be handled at the lowest
appropriate administrative level. In most instances, members of the Michigan Technological
University community will not need authorization or approval from their immediate
supervisors before engaging in outside professional activities. Certain cases, however,
may require detailed scrutiny and greater care in handling to protect the rights of
all parties.

The University Provost shall designate a Conflict of Interest Coordinator. This individual
shall act in accord with this conflict of interest policy as well as guidelines established
by external granting agencies. Additionally, a University level review committee may
be established on a case-by-case basis to examine the circumstances and provide direction
aimed at insuring the amelioration of inappropriate conflicts of interest.

Violations of University Policy

Michigan Tech has the authority to take action against individuals who violate conflict
of interest policy. Sanctions, which may include termination, are to be graduated
to reflect the seriousness of the violation. In enforcing this policy it should be
recognized that conflicts are not always blatant; they are not always easily defined
in terms of obvious or absolute rights and wrongs. Distinctions must be made between
neglect, honest oversights, or ignorance of procedures on the one hand and willful
violations on the other, especially deliberate failures to disclose interests or relationships
that create conflicts of interest.

History

04/20/1917: Senate Resolution, no work for firm, or person in litigation with the
State

01/01/1967

06/11/1971

01/28/1982

09/18/1992: Changed responsibility

09/22/1995: Rescinded policy dated 9/18/92 and adopted new policy

08/03/2000: Changed Executive Vice President and Provost title to Provost and Senior
Vice President for Academic and Student Affairs.

03/14/2003: Changed Vice President for Finance and Administration to Vice President
for administration and added Chief Financial Officer.

07/15/2010: Was previously Policy 3.13. Renumbered and changed Vice Presidential title
to match current titles.

4.8 Office of the Ombuds

An Office of the Ombuds shall be established by the Senate of Michigan Technological
University. Its purpose shall be to provide confidential, impartial, informal conflict
resolution services to faculty, staff and students prior to the filing of any formal
grievance. The Ombuds office seeks to resolve conflicts through informal mediation
efforts. Ombuds mediation efforts are to be terminated upon the filing of a formal
grievance, at the request of the member of the university community seeking Ombuds
services, or by the judgment of the Ombuds officer. Consultation with the Ombuds Officer
will not preclude or impair other avenues of grievance, investigation, or adjudication
available to faculty, staff and students. Included in the office is the processing
of student complaints when other recourse has been exhausted and matters arising under
the Board of Trustees Sex Discrimination/Sexual Harassment Policies.

The Ombuds Officer shall report to the President, and may recommend policy changes
to the President for consideration.

The Ombuds Officer shall be appointed by the appointing committee which shall consist
of the following members of the Michigan Tech community: one member appointed by the
President; one member elected by the Senate from among its members; one member elected
by the Academic Faculty; and one member elected by Michigan Tech enrolled students.
The choice of the appointing committee must be unanimous. The term of the Ombuds Officer
shall continue until his/her resignation or until terminated by a two-thirds majority
vote of the entire University Senate membership or until terminated or suspended by
the President, whichever first occurs.

Release time and resources required to successfully execute the duties of the Ombuds'
Office shall be provided by the University as determined by the President.

History

06/13/1969

01/28/1982

01/27/1984: Changed general faculty to academic faculty

02/24/2006: Rescinded former policy; new policy broadens the scope of the office to
include faculty, staff and students.

07/15/2010: Was previously Policy 6.4. Renumbered and changed by adding suspension
or termination power in the President to comply with State law prohibiting non-terminable
employment. Staff council member deleted as position no longer exists.

4.9 Classification for Social Security

All employees of Michigan Technological University are subject to social security
tax pursuant to Act 205 of the Public Acts of 1951 and the federal social security
act, with exceptions from coverage as provided by law.